Rule 590-4-4-.03 - Notice Filing Requirements for Federal Covered Investment Advisers(1)Notice Filing. The notice filing for a federal covered investment adviser pursuant to O.C.G.A. Sec. 10-5-34(c)shall be filed electronically with IARD on an executed Form ADV (Uniform Application for Investment Adviser Registration). A notice filing of a federal covered investment adviser shall be deemed filed when the fee required by O.C.G.A. Sec. 10-5-39(e) and the Form ADV are filed electronically with and accepted by IARD on behalf of the state.(2)Form ADV Part 2. The Commissioner may: (a) Accept a copy of Part 2 of Form ADV as filed electronically with IARD; or(b) Deem Part 2 of Form ADV filed if a federal covered investment adviser provides, within 5 days of a request, Part 2 of Form ADV to the Commissioner. Because the Commissioner deems Part 2 of Form ADV to be filed, a federal covered investment adviser is not required to submit Part 2 of Form ADV to the Commissioner unless requested.(3)Renewal. The annual renewal of the notice filing for a federal covered investment adviser pursuant to O.C.G.A. Sec. 10-5-34(c)shall be filed electronically with IARD. The renewal of the notice filing for a federal covered investment adviser shall be deemed filed when the fee required by O.C.G.A. Sec. 10-5-39(e)is filed with and accepted by IARD on behalf of the state.(4)Updates and Amendments. A federal covered investment adviser must file electronically with IARD, in accordance with the instructions in the Form ADV, any amendments to the federal covered investment adviser's Form ADV.Ga. Comp. R. & Regs. R. 590-4-4-.03
O.C.G.A. Secs. 10-5-10, 10-5-12, 10-5-34.
Original Rule entitled "Fraudulent Conduct Prohibited" adopted. F. Apr. 13, 1983; eff. May 3, 1983.Amended: Authority changed. F. Feb. 24, 1987; eff. Mar. 16, 1987.Repealed: New Rule of same title adopted. F. Dec. 21, 2004; eff. Jan. 10, 2005. Repealed: New Rule entitled "Notice Filing Requirements for Federal Covered Investment Advisers" adopted. F. Nov. 18, 2011; eff. Dec. 8, 2011.